FINRA Series_63 Exam : Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Which of the following would be considered an "issuer" transaction?

A. Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
B. Kim sells an AT&T bond she holds that still has three years remaining to maturity.
C. None of the above is an "issuer" transaction.
D. Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign
securities.

Question 2

Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A. provide the client with a written response to the complaint.
B. keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C. call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
D. immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.

Question 3

The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not
complied with all the stipulated requirements.

A. I or III only
B. I, II, III, or IV
C. I, III or IV only
D. III or IV only

Question 4

The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers
in that

A. A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is provided before the transaction even takes
place.
B. A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is in the mail before proceeding with the
transaction.
C. An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is in the mail before proceeding with
the transaction.
D. An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is provided before the transaction
even takes place.

Question 5

Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund
that does not have a sales charge. Desi recommends a fund that has no front-
end load although it does have a deferred sales load if the investor redeems his shares within the first
three years of ownership, but the client has informed Desi that he is looking at this as a long-term
investment. Based on these facts, Desi

A. is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the
fund he has recommended in any manner.
B. is in violation of NASAA rules regarding investment company shares.
C. will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
D. is not in violation of any rules since the fund has no front-end load and the deferred sales load will not
apply to this client, given his indication that this is meant to be a long-term investment.

Solutions: